Broker-Dealer Formation

We guide you through the entire broker-dealer formation process, including registration with the SEC and FINRA/NYSE membership, plus licensing registrations such as the General Securities Principal (Series 24) and Financial and Operations Principal (Series 27), including the Registered Options Principal (Series 4) if you wish to engage in options transactions. If you have FINRA disciplinary challenges, such as suspension or statutory disqualification, we guide you through readmission and the policies and procedures needed to stay in business.